File No. 36118
This rule was published in the May 15, 2012, issue (Vol. 2012, No. 10) of the Utah State Bulletin.
Human Resource Management, Administration
Rule R477-1
Definitions
Notice of Proposed Rule
(Amendment)
DAR File No.: 36118
Filed: 04/30/2012 03:45:05 PM
RULE ANALYSIS
Purpose of the rule or reason for the change:
The purpose of this amendment is to clarify for rule readers, a new definition, "Dual State Employment," which is added and some language is simplified.
Summary of the rule or change:
"Dual State Employment" is added as Subsection R477-1-1(39) and the remainder of subsections are renumbered. The word "including" replaces "for example" in Subsection R477-1-1(24).
State statutory or constitutional authorization for this rule:
- Section 67-19-6
Anticipated cost or savings to:
the state budget:
These changes are administrative and do not directly impact state budgets.
local governments:
This rule only affects the executive branch of state government and will have no impact on local government.
small businesses:
This rule only affects the executive branch of state government and will have no impact on small businesses.
persons other than small businesses, businesses, or local governmental entities:
This rule only affects the executive branch of state government and will have no impact on other persons. This rule has no financial impact on state employees.
Compliance costs for affected persons:
There is no direct compliance cost for these amendments.
Comments by the department head on the fiscal impact the rule may have on businesses:
Rules published by the Department of Human Resource Management (DHRM) have no direct effect on businesses or any entity outside state government. DHRM has authority to write rules only to the extent allowed by the Utah Personnel Management Act, Title 67, Chapter 19. This act limits the provisions of career service and these rules to employees of the executive branch of state government. The only possible impact may be a very slight, indirect effect if an agency passes costs or savings on to business through fees. However, it is anticipated that the minimal costs associated with these changes will be absorbed by agency budgets and will have no effect on business.
Jeff Herring, Executive Director
The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:
Human Resource ManagementAdministration
Room 2120 STATE OFFICE BLDG
450 N MAIN ST
SALT LAKE CITY, UT 84114-1201
Direct questions regarding this rule to:
- J.J. Acker at the above address, by phone at 801-538-4297, by FAX at 801-538-3081, or by Internet E-mail at [email protected]
Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:
06/14/2012
Interested persons may attend a public hearing regarding this rule:
- 05/24/2012 09:00 AM, Senate Bldg, Beehive Room, 420 N State Street, Salt Lake City, UT
This rule may become effective on:
06/21/2012
Authorized by:
Jeff Herring, Executive Director
RULE TEXT
R477. Human Resource Management, Administration.
R477-1. Definitions.
R477-1-1. Definitions.
The following definitions apply throughout these rules unless otherwise indicated within the text of each rule.
(1) Abandonment of Position: An act of resignation resulting when an employee is absent from work for three consecutive working days without approval.
(2) Actual FTE: The total number of full time equivalents based on actual hours paid in the state payroll system.
(3) Actual Hours Worked: Time spent performing duties and responsibilities associated with the employee's job assignments.
(4) Actual Wage: The employee's assigned salary rate in the central personnel record maintained by the Department of Human Resource Management.
(5) Administrative Leave: Leave with pay granted to an employee at management discretion that is not charged against the employee's leave accounts.
(6) Administrative Adjustment: A DHRM approved change of a position from one job to another job or a salary range change for administrative purposes that is not based on a change of duties and responsibilities.
(7) Administrative Salary Decrease: A decrease in the current actual wage based on non-disciplinary administrative reasons determined by an agency head or commissioner.
(8) Administrative Salary Increase: An increase in the current actual wage based on special circumstances determined by an agency head or commissioner.
(9) Agency: An entity of state government that is:
(a) directed by an executive director, elected official or commissioner defined in Title 67, Chapter 22 or in other sections of the code;
(b) authorized to employ personnel; and
(c) subject to Title 67, Chapter 19, Utah State Personnel Management Act.
(10) Agency Head: The executive director or commissioner of each agency or a designated appointee.
(11) Agency Human Resource Field Office: An office of the Department of Human Resource Management located at another agency's facility.
(12) Agency Management: The agency head and all other officers or employees who have responsibility and authority to establish, implement, and manage agency policies and programs.
(13) Alternative State Application Program (ASAP): A program designed to appoint a qualified person with a disability through an on the job examination period.
(14) Appeal: A formal request to a higher level for reconsideration of a grievance decision.
(15) Appointing Authority: The officer, board, commission, person or group of persons authorized to make appointments in their agencies.
(16) Break in Service: A point at which an individual has an official separation date and is no longer employed by the State of Utah.
(17) Budgeted FTE: The total number of full time equivalents budgeted by the Legislature and approved by the Governor.
(18) Bumping: A procedure that may be applied prior to a reduction in force action (RIF). It allows employees with higher retention points to bump other employees with lower retention points as identified in the work force adjustment plan, as long as employees meet the eligibility criteria outlined in interchangeability of skills.
(19) Career Mobility: A time limited assignment of an employee to a different position for purposes of professional growth or fulfillment of specific organizational needs.
(20) Career Service Employee: An employee who has successfully completed a probationary period in a career service position.
(21) Career Service Exempt Employee: An employee appointed to work for a period of time, serving at the pleasure of the appointing authority, who may be separated from state employment at any time without just cause.
(22) Career Service Exempt Position: A position in state service exempted by law from provisions of career service under Section 67-19-15.
(23) Career Service Status: Status granted to employees who successfully complete a probationary period for career service positions.
(24) Category of Work: A job series within an agency designated by the agency head as having positions to be eliminated agency wide through a reduction in force. Category of work may be further reduced as follows:
(a) a unit smaller than the agency upon
providing justification and rationale for approval, [for example]including:
(i) unit number;
(ii) cost centers;
(iii) geographic locations;
(iv) agency programs.
(b) positions identified by a set of
essential functions, [for example]including:
(i) position analysis data;
(ii) certificates;
(iii) licenses;
(iv) special qualifications;
(v) degrees that are required or directly related to the position.
(25) Change of Workload: A change in position responsibilities and duties or a need to eliminate or create particular positions in an agency caused by legislative action, financial circumstances, or administrative reorganization.
(26) Classification Grievance: The approved procedure by which an agency or a career service employee may grieve a formal classification decision regarding the classification of a position.
(27) Classified Service: Positions that are subject to the classification and compensation provisions stipulated in Section 67-19-12.
(28) Classification Study: A Classification review conducted by DHRM under Section R477-3-4. A study may include single or multiple job or position reviews.
(29) Compensatory Time: Time off that is provided to an employee in lieu of monetary overtime compensation.
(30) Contractor: An individual who is contracted for service, is not supervised by a state supervisor, but is responsible for providing a specified service for a designated fee within a specified time. The contractor shall be responsible for paying all taxes and FICA payments, and may not accrue benefits.
(31) Critical Incident Drug or Alcohol Test: A drug or alcohol test conducted on an employee as a result of the behavior, action, or inaction of an employee that is of such seriousness it requires an immediate intervention on the part of management.
(32) Demotion: A disciplinary action resulting in a reduction of an employee's current actual wage.
(33) Detailed Position Record Management Report: A document that lists an agency's authorized positions, incumbent's name and hourly rate, job identification number, salary range, and schedule.
(34) DHRM: The Department of Human Resource Management.
(35) DHRM Approved Recruitment and Selection System: The state's recruitment and selection system, which is a centralized and automated computer system administered by the Department of Human Resource Management.
(36) Disability: Disability shall have the same definition found in the Americans With Disabilities Act (ADA) of 1990, 42 USC 12101 (2008); Equal Employment Opportunity Commission regulation, 29 CFR 1630 (2008); including exclusions and modifications.
(37) Disciplinary Action: Action taken by management under Rule R477-11.
(38) Dismissal: A separation from state employment for cause under Section R477-11-2.
(39) Dual State Employment: Employees who work for more than one agency and meet the employee criteria which is located in the Division of Finance accounting policy 11-18.00.
(40) Drug-Free Workplace Act: A 1988 congressional act, 34 CFR 84 (2008), requiring a drug-free workplace certification by state agencies that receive federal grants or contracts.
([40]41) Employee Personnel Files: For purposes of Title 67,
Chapters 18 and 19, the files or records maintained by DHRM and
agencies as required by Section R477-2-5. This does not include
employee information maintained by supervisors.
([41]42) Employment Eligibility Verification: A requirement of
the Immigration Reform and Control Act of 1986, 8 USC 1324 (1988)
that employers verify the identity and eligibility of individuals
for employment in the United States.
([42]43) "Escalator" Principle: Under the Uniformed
Services Employment and Reemployment Rights Act (USERRA), returning
veterans are entitled to return back onto their seniority escalator
at the point they would have occupied had they not left state
employment.
([43]44) Excess Hours: A category of compensable hours separate
and apart from compensatory or overtime hours that accrue at
straight time only when an employee's actual hours worked, plus
additional hours paid, exceed an employee's normal work
period.
([44]45) Fitness For Duty Evaluation: Evaluation, assessment or
study by a licensed professional to determine if an individual is
able to meet the performance or conduct standards required by the
position held, or is a direct threat to the safety of self or
others.
([45]46) FLSA Exempt: Employees who are exempt from the overtime
and minimum wage provisions of the Fair Labor Standards Act.
([46]47) FLSA Nonexempt: Employees who are not exempt from the
overtime and minimum wage provisions of the Fair Labor Standards
Act.
([47]48) Follow Up Drug or Alcohol Test: Unannounced drug or
alcohol tests conducted for up to five years on an employee who has
previously tested positive or who has successfully completed a
voluntary or required substance abuse treatment program.
([48]49) Furlough: A temporary leave of absence from duty without
pay for budgetary reasons or lack of work.
([49]50) Grievance: A career service employee's claim or
charge of the existence of injustice or oppression, including
dismissal from employment resulting from an act, occurrence,
omission, condition, discriminatory practice or unfair employment
practice not including position classification or schedule
assignment.
([50]51) Grievance Procedures: The statutory process of
grievances and appeals as set forth in Sections 67-19a-101 through
67-19a-40[8]6 and the rules promulgated by the Career Service Review
Office.
([51]52) Gross Compensation: Employee's total earnings,
taxable and nontaxable, as shown on the employee's pay
statement.
([52]53) Highly Sensitive Position: A position approved by DHRM
that includes the performance of:
(a) safety sensitive functions:
(i) requiring an employee to operate a commercial motor vehicle under 49 CFR 383 (January 18, 2006);
(ii) directly related to law enforcement;
(iii) involving direct access or having control over direct access to controlled substances;
(iv) directly impacting the safety or welfare of the general public;
(v) requiring an employee to carry or have access to firearms; or
(b) data sensitive functions permitting or requiring an employee to access an individual's highly sensitive, personally identifiable, private information, including:
(i) financial assets, liabilities, and account information;
(ii) social security numbers;
(iii) wage information;
(iv) medical history;
(v) public assistance benefits; or
(vi) driver license
([53]54) Hiring List: A list of qualified and interested
applicants who are eligible to be considered for appointment or
conditional appointment to a specific position created in the DHRM
approved recruitment and selection system.
([54]55) HRE: Human Resource Enterprise; the state human resource
management information system.
([55]56) Incompetence: Inadequacy or unsuitability in performance
of assigned duties and responsibilities.
([56]57) Inefficiency: Wastefulness of government resources
including time, energy, money, or staff resources or failure to
maintain the required level of performance.
([57]58) Interchangeability of Skills: Employees are considered
to have interchangeable skills only for those positions they have
previously held successfully in Utah state government executive
branch employment or for those positions which they have
successfully supervised and for which they satisfy job
requirements.
([58]59) Intern: An individual in a college degree or
certification program assigned to work in an activity where
on-the-job training or community service experience is
accepted.
([59]60) Job: A group of positions similar in duties performed,
in degree of supervision exercised or required, in requirements of
training, experience, or skill and other characteristics. The same
salary range is applied to each position in the group.
([60]61) Job Description: A document containing the duties,
distinguishing characteristics, knowledge, skills, and other
requirements for a job.
([61]62) Job Requirements: Skill requirements defined at the job
level.
([62]63) Job Series: Two or more jobs in the same functional area
having the same job title, but distinguished and defined by
increasingly difficult levels of skills, responsibilities,
knowledge and requirements; or two or more jobs with different
titles working in the same functional area that have licensure,
certification or other requirements with increasingly difficult
levels of skills, responsibilities, knowledge and requirements.
([63]64) Legislative Salary Adjustment: A legislatively approved
salary increase for a specific category of employees based on
criteria determined by the Legislature.
([64]65) Malfeasance: Intentional wrongdoing, deliberate
violation of law or standard, or mismanagement of
responsibilities.
([65]66) Market Based Bonus: One time lump sum monies given to a
new hire or a current employee to encourage employment with the
state.
([66]67) Market Comparability Adjustment: Legislatively approved
change to a salary range for a job based on a compensation survey
conducted by DHRM.
([67]68) Merit Increase: A legislatively approved and funded
salary increase for employees to recognize and reward successful
performance.
([68]69) Misconduct: Wrongful, improper, unacceptable, or
unlawful conduct or behavior that is inconsistent with prevailing
agency practices or the best interest of the agency.
([69]70) Misfeasance: The improper or unlawful performance of an
act that is lawful or proper.
([70]71) Nonfeasance: Failure to perform either an official duty
or legal requirement.
([71]72) Performance Evaluation: A formal, periodic evaluation of
an employee's work performance.
([72]73) Performance Improvement Plan: A documented
administrative action to address substandard performance of an
employee under Section R477-10-2.
([73]74) Performance Management: The ongoing process of
communication between the supervisor and the employee which defines
work standards and expectations, and assesses performance leading
to a formal annual performance evaluation.
([74]75) Performance Plan: A written summary of the standards and
expectations required for the successful performance of each job
duty or task. These standards normally include completion dates and
qualitative and quantitative levels of performance
expectations.
([75]76) Performance Standard: Specific, measurable, observable
and attainable objectives that represent the level of performance
to which an employee and supervisor are committed during an
evaluation period.
([76]77) Personnel Adjudicatory Proceedings: The informal appeals
procedure contained in Section 63G-4-2 for all human resource
policies and practices not covered by the state employees grievance
procedure promulgated by the Career Service Review Office, or the
classification appeals procedure.
([77]78) Position: A unique set of duties and responsibilities
identified by DHRM authorized job and position management
numbers.
([78]79) Position Description: A document that describes the
detailed tasks performed, as well as the knowledge, skills,
abilities, and other requirements of a specific position.
([79]80) Position Identification Number: A unique number assigned
to a position for FTE management.
([80]81) Post Accident Drug or Alcohol Test: A Drug or alcohol
test conducted on an employee who is involved in a vehicle accident
while on duty or driving a state vehicle:
(a) where a fatality occurs;
(b) where there is sufficient information to conclude that the employee was a contributing cause to an accident that results in bodily injury or property damage; or
(c) where there is reasonable suspicion that the employee had been driving while under the influence of alcohol or a controlled substance.
([81]82) Preemployment Drug Test: A drug test conducted on:
(a) final candidates for a highly sensitive position;
(b) employees who are final candidates for transfer or promotion from a non-highly sensitive position to a highly sensitive position; or
(c) employees who transfer or are promoted from one highly sensitive position to another highly sensitive position.
([82]83) Probationary Employee: An employee hired into a career
service position who has not completed the required probationary
period for that position.
([83]84) Probationary Period: A period of time considered part of
the selection process, identified at the job level, the purpose of
which is to allow management to evaluate an employee's ability
to perform assigned duties and responsibilities and to determine if
career service status should be granted.
([84]85) Proficiency: An employee's overall quality of work,
productivity, skills demonstrated through work performance and
other factors that relate to employee performance or conduct.
([85]86) Promotion: An action moving an employee from a position
in one job to a position in another job having a higher salary
range maximum.
([86]87) Protected Activity: Opposition to discrimination or
participation in proceedings covered by the antidiscrimination
statutes or the Utah State Grievance and Appeal Procedure.
Harassment based on protected activity can constitute unlawful
retaliation.
([87]88) Random Drug or Alcohol Test: Unannounced drug or alcohol
testing of a sample of highly sensitive employees done in
accordance with federal regulations or state rules, policies, and
procedures, and conducted in a manner such that each highly
sensitive employee has an equal chance of being selected for
testing.
([88]89) Reappointment: Return to work of an individual from the
reappointment register after separation from employment.
([89]90) Reappointment Register: A register of individuals who
have prior to March 2, 2009:
(a) held career service status and been separated in a reduction in force;
(b) held career service status and accepted career service exempt positions without a break in service and were not retained, unless discharged for cause; or
(c) by Career Service Review Board decision been placed on the reappointment register.
([90]91) Reasonable Suspicion Drug or Alcohol Test: A drug or
alcohol test conducted on an employee based on specific,
contemporaneous, articulated observations concerning the
appearance, behavior, speech or body odors of the employee.
([91]92) Reassignment: An action mandated by management moving an
employee from one job or position to a different job or position
with an equal or lesser salary range maximum for administrative
reasons. A reassignment may not include a decrease in actual wage
except as provided in federal or state law.
([92]93) Reclassification: A DHRM reallocation of a single
position or multiple positions from one job to another job to
reflect management initiated changes in duties and
responsibilities.
([93]94) Reduction in Force: (RIF) Abolishment of positions
resulting in the termination of career service staff. RIFs can
occur due to inadequate funds, a change of workload, or a lack of
work.
([94]95) Reemployment: Return to work of an employee who resigned
or took military leave of absence from state employment to serve in
the uniformed services covered under USERRA.
([95]96) Requisition: An electronic document used for HRE Online
recruitment, selection and tracking purposes that includes specific
information for a particular position, job seekers'
applications, and a hiring list.
([96]97) Salary Range: An established minimum salary rate and
maximum salary rate assigned to a job.
([97]98) Schedule: The determination of whether a position meets
criteria stipulated in the Utah Code Annotated to be career service
(schedule B) or career service exempt (schedule A).
([98]99) Settling Period: A sufficient amount of time, determined
by agency management, for an employee to fully assume new or higher
level duties required of a position.
([99]100) Tangible Employment Action: A significant change in
employment status, such as firing, demotion, failure to promote,
work reassignment, or a decision which changes benefits.
([100]101) Transfer: An action not mandated by management moving
an employee from one job or position to another job or position
with an equal or lesser salary range maximum for which the employee
qualifies. A transfer may include a decrease in actual wage.
([101]102) Uniformed Services: The United States Army, Navy,
Marine Corps, Air Force, Coast Guard; Reserve units of the Army,
Navy, Marine Corps, Air Force, or Coast Guard; Army National Guard
or Air National Guard; Commissioned Corps of Public Health Service,
National Oceanic and Atmospheric Administration (NOAA), National
Disaster Medical Systems (NDMS) and any other category of persons
designated by the President in time of war or emergency. Service in
Uniformed Services includes: voluntary or involuntary duty,
including active duty; active duty for training; initial active
duty for training; inactive duty training; full-time National Guard
duty; or absence from work for an examination to determine fitness
for any of the above types of duty.
([102]103) Unlawful Discrimination: An action against an employee
or applicant based on race, religion, national origin, color, sex,
age, disability, protected activity under the anti-discrimination
statutes, political affiliation, military status or affiliation, or
any other factor, as prohibited by law.
([103]104) USERRA: Uniformed Services Employment and Reemployment
Rights Act of 1994 (P.L. 103-353), requires state governments to
re-employ eligible veterans who resigned or took a military leave
of absence from state employment to serve in the uniformed services
and who return to work within a specified time period after
military discharge.
([104]105) Veteran: An individual who has served on active duty in
the armed forces for more than 180 consecutive days, or was a
member of a reserve component who served in a campaign or
expedition for which a campaign medal has been authorized.
Individuals must have been separated or retired under honorable
conditions.
([105]106) Volunteer: Any person who donates services to the state
or its subdivisions without pay or other compensation except actual
and reasonable expenses incurred, as approved by the supervising
agency.
KEY: personnel management, rules and procedures, definitions
Date of Enactment or Last Substantive Amendment: [July 1, 2011]2012
Notice of Continuation: February 2, 2012
Authorizing, and Implemented or Interpreted Law: 67-19-6
Additional Information
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For questions regarding the content or application of this rule, please contact J.J. Acker at the above address, by phone at 801-538-4297, by FAX at 801-538-3081, or by Internet E-mail at [email protected].